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Brooklyn ImmunoTherapeutics, Inc. – ‘8-K’ for 9/21/22

On:  Friday, 9/23/22, at 4:30pm ET   ·   For:  9/21/22   ·   Accession #:  1140361-22-34533   ·   File #:  1-11460

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 9/23/22  Brooklyn ImmunoTherapeutics, Inc. 8-K:5       9/21/22   10:171K                                   Broadridge Fin’l So… Inc

Current Report   —   Form 8-K

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report                                      HTML     42K 
 5: R1          Document and Entity Information                     HTML     47K 
 8: XML         IDEA XML File -- Filing Summary                      XML     11K 
 6: XML         XBRL Instance -- brhc10042191_8k_htm                 XML     15K 
 7: EXCEL       IDEA Workbook of Financial Reports                  XLSX      8K 
 3: EX-101.LAB  XBRL Labels -- btx-20220921_lab                      XML     63K 
 4: EX-101.PRE  XBRL Presentations -- btx-20220921_pre               XML     45K 
 2: EX-101.SCH  XBRL Schema -- btx-20220921                          XSD     14K 
 9: JSON        XBRL Instance as JSON Data -- MetaLinks               13±    19K 
10: ZIP         XBRL Zipped Folder -- 0001140361-22-034533-xbrl      Zip     14K 


‘8-K’   —   Current Report


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 iX:   C: 
 i false i 000074859200007485922022-09-212022-09-21

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM  i 8-K

CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported):  i September 21, 2022

 i Brooklyn ImmunoTherapeutics, Inc.
(Exact Name of Registrant as Specified in its Charter)

 i Delaware
 i 001-11460
 i 31-1103425
(State or Other Jurisdiction of Incorporation)
(Commission File Number)
(IRS Employer Identification No.)
     
 i 10355 Science Center Drive,  i Suite 150
   
 i San Diego,  i California
   i 92121
(Address of Principal Executive Offices)
 
(Zip Code)

Registrant’s telephone number, including area code: ( i 212)  i 582-1199

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 i 
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 i 
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 i 
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 i 
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:
Title of each class
 
Trading symbol
 
Name of each exchange on which registered
 i Common Stock, par value $0.005 per share
 
 i BTX
 
 i The Nasdaq Stock Market LLC

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 or Rule 12b-2 of the Securities Exchange Act of 1934:
 
Emerging growth company  i 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐



Item 5.07
Submission of Matters to a Vote of Security Holders.
 
On September 21, 2022, Brooklyn ImmunoTherapeutics, Inc., a Delaware corporation (the “Company”), held its 2022 Annual Meeting of Stockholders (the “Annual Meeting”). The final voting results for the proposals submitted to a vote of the Company’s stockholders at the Annual Meeting are as follows:
 
Proposal 1: Election of five directors to the Board of Directors of the Company to hold office until the Company’s 2023 Annual Meeting of Stockholders or until their respective successors are elected and qualified:

 
Director
  
Votes
For
  
Votes
Withheld
  
Broker
Non-Votes
Charles Cherington
 
24,960,908
 
3,213,277
 
14,849,874
Matthew Angel
 
26,060,381
 
2,113,804
 
14,849,874
Nicholas J. Singer
 
26,037,962
 
2,136,223
 
14,849,874
Gregory Fiore
 
25,923,220
 
2,250,965
 
14,849,874
William Wexler
 
26,044,952
 
2,129,233
 
14,849,874

Proposal 2: Approval of a non-binding advisory resolution approving the compensation of the Company’s named executive officers as disclosed in the Company’s 2022 Proxy Statement for the Annual Meeting:

 Votes
For
  
Votes
Against
    
Abstentions
  
Broker
Non-Votes
 23,660,694
 
4,462,421
 
51,070
 
14,849,874

Proposal 3: Ratification of the appointment of Grant Thornton LLP as the Company’s independent registered public accounting firm for the 2022 fiscal year:
 
Votes
For
  
Votes
Against
    
Abstentions
  
Broker
Non-Votes
42,584,506
 
373,779
 
65,774
 

Proposal 4: Approval of the amendment to the Company’s Restated Certificate of Incorporation, as amended, to effect a reverse stock split (the “Reverse Stock Split”) with respect to the Company’s issued and outstanding common stock, par value $0.005 per share, at a ratio of 1-for-10 to 1-for-20 (the “Range”), with the ratio at which the Reverse Stock Split would be effected to be a ratio within the Range to be determined at the discretion of the Company’s Board of Directors:
 
Votes
For
  
Votes
Against
    
Abstentions
  
Broker
Non-Votes
40,383,795
 
2,603,310
 
36,954
 

No other matters were considered or voted upon at the Annual Meeting.


SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, hereunto duly authorized.

 
Brooklyn ImmunoTherapeutics, Inc.
   
Dated: September 23, 2022
By:
   
Chief Financial Officer




Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘8-K’ Filing    Date    Other Filings
Filed on:9/23/22
For Period end:9/21/224,  DEF 14A,  PRE 14A
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